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employment-related claim
As Published: 2019
employment-related claim
132 a claim of the description specified in article 89F(2)(h) of the Regulated Activities Order .
MiFID RTS 10
As Published: 2017
MiFID RTS 10
the UK version of 132 118 Commission Delegated Regulation (EU) 2017/573 of 6 June 2016 supplementing MiFID with regard to regulatory technical standards on requirements to ensure fair and non-discrimi…
recognised overseas investment exchange
As Published: 2001
recognised overseas investment exchange
an overseas investment exchange which is declared by a recognition order for the time being in force to be a recognised investment exchange . 5…
administering a home reversion plan
As Published: 2006
administering a home reversion plan
32 the regulated activity , specified in article 63B(2) of the Regulated Activities Order , which is in summary: administering a home reversion plan where the plan was entered into on or after 6 April…
platform service provider
As Published: 2011
platform service provider
92 a firm providing a platform service .
regulated covered bond
As Published: 2008
regulated covered bond
70 (in RCB ) (as defined in Regulation 1(2) of the RCB Regulations ) a covered bond or programme of covered bonds , as the case may be, which is admitted to the register of regulated covered bonds mai…
energy collective investment scheme
As Published: 2001
energy collective investment scheme
a collective investment scheme , the property of which consists only of energy , energy investments, emissions allowances 73 , tradable renewable energy credits or cash awaiting investment. 2…
UK firm
As Published: 2001
UK firm
(1) (except in REC ) 20 an authorised person: 81 (a) whose head office is in the United Kingdom 81 ; or 75 (b) whose registered office is in the United Kingdom 81 . 75 (2) [deleted] 81…
own funds requirement
As Published: 2001
own funds requirement
104 the requirement for a MIFIDPRU investment firm to maintain a minimum level of own funds specified in MIFIDPRU 4.3 .
limit order
As Published: 2007
limit order
23 an order to buy or sell a financial instrument at its specified price limit or better and for a specified size. [Note: article 4(1)(14) 73 of MiFID ]…
Part 6 rules
As Published: 2005
Part 6 rules
26 (as defined in section 73A of the Act ) rules made for the purposes of Part VI of the Act .
regulatory information service or RIS
As Published: 2005
regulatory information service or RIS
a primary information provider . 192 137 [deleted] 192 150 150…
minor foreign exchange pairs
As Published: 2019
minor foreign exchange pairs
135 a pair of two different currencies whose exchange rates are traded in the foreign exchange market which is not a major foreign exchange pair .
protected debt management business
As Published: 2017
protected debt management business
160 debt management activities which are covered by the compensation scheme , as set out in COMP 5.8.1R .
risk weight
As Published: 2006
risk weight
130 (1) 142 [deleted] 212 142 (2) (for an exposure under MIPRU ) a degree of risk expressed as a percentage assigned to that exposure in accordance with MIPRU 4.2A.10 R to MIPRU 4.2A.12 R , and MIPRU…
goods in transit
As Published: 2001
goods in transit
(in relation to a class of contract of insurance ) the class of contract of insurance , specified in paragraph 7 of Part I of Schedule 1 to the Regulated Activities Order (Contracts of general insuran…
general client bank account
As Published: 2001
general client bank account
a client bank account that holds client money of one or more clients , which includes in its title the word "client" (or, if the systems constraints of the approved bank or the firm that holds the acc…